BK
Brianna M. Kvam
ROBERT W. BAIRD & CO.
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 4958094
BK
Professional summary
Brianna Marie Kvam, who also goes by Brianna Marie Luikens, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Milwaukee, Wisconsin.
Brianna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brianna has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brianna Marie Luikens
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) t. Bonifacius Fire Auxiliary; not investment-related; 3631 Main Street, St. Bonifacius, MN 55375; fire department auxiliary; president; 10/2016; 4 hours/month; 0 hours/trading; help organization raise funds for the St. Bonifacius Fire Dept. and community outreach and events. 2) Name: St. Bonifacius Fire Auxiliary Address: Business Description: The spouses/SO of the firefighters on the SBFD. Business is not investment related Projected Start Date: 01/01/16 Capacity: Board of Directors * Duties Performed: Scheduling meetings, discuss action items from agenda, request donations from businesses, other items needed. Devoted to this OBA per Month: 4 Hour Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Brianna Marie Kvam's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brianna Marie Kvam's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 E. Wisconsin Avenue, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Current
June 29, 2023 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 E. Wisconsin Avenue, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Past
June 22, 2020 - July 13, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
June 22, 2020 - July 13, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
March 20, 2014 - June 26, 2020
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAINT PAUL, MN
Past
March 6, 2014 - June 26, 2020
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
October 28, 2009 - March 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EDINA, MN
Past
June 20, 2007 - October 14, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ST PAUL, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Minnesota(6/29/2023)
RR
Minnesota(7/14/2023)
RR
Wisconsin(7/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Milwaukee, WI 53202TRUST BUT VERIFY
Monitor Brianna Kvam
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
